Articles Tagged with Nylife Securities LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Dowell (Dowell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 15, 2021.

Customer alleges that explanations of fees and variable annuities purchased from October 2016 to February 2021 were not forthcoming.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Fischer (Fischer), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 21, 2021.

Customer alleges that documentation used as part of his 1035 exchange from TransAmerica to fund his immediate annuity in July 2021, contain initials that are not his.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scarlett Ramsey (Ramsey), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ramsey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 31, 2021.

Respondent Ramsey failed to respond to FINRA requests for information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pauliks (Pauliks), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pauliks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 14, 2021.

Customer alleges when she purchased a variable annuity in October 2015, she was not informed that additional contributions would result in new surrender periods.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fisher (Fisher), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $24,140.51 on October 06, 2021.

Claimant alleges that she was misled into purchasing an unsuitable investment in November 2017 andseeks the return of surrender charges, fees and market losses plus punitive damages and attorney fees.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Felix Chu (Chu) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Chu was employed by Nylife Securities LLC at the time of the activity.  If you have been a victim of Chu’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $113,620.00 on October 28, 2021.

Customer alleges that beginning in or around October 2017 until May 2018 they were misled into purchasing promissory notes resulting in a damages of $113,620. No securities products were involved.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kermit Griner (Griner), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Griner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 04, 2021.

Attorney for the Estate of Fay Cannamela  and its representatives/beneficiaries questions the suitability of variable and fixed annuity transactions between 1997 and 2005 and alleges that the signatures on several forms do not match his clients’ authentic signatures.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heather Cagle (Cagle), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cagle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 10, 2021.

Customer alleges that she and her late husband did not sign an electronic application for an employee whole life insurance policy in April 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Narith Long (Long), previously associated with Nylife Securities LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Long recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $80,000.00 on November 24, 2021.

Claimant alleges that in 2020, the RR advised her to open brokerage accounts with outside broker-dealers, which the RR would manage with full discretion to trade on the complainant’s behalf. The complainant further alleged the RR implemented a high-risk, high-volume, high frequency investment strategy causing her to lose $80,000. Claimant seeks compensation for her losses as well as punitive damages, interest, attorney and consulting fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,853.74 on December 02, 2021.

Customer alleges that in March 2018, he was misled regarding the surrender schedule and charges related to a Variable Annuity.

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